Head of Compliance recruitment
Head of ComplianceYou will be tasked with delivering appropriate and timely compliance support to business management and ensure that significant regulatory risks are identified in advance and managed accordingly.The over-arching framework of the role includes but is not limited to: • Providing technical advice and compliance support to management• Working with the business to resolve compliance related issues• Maintaining a compliance monitoring programme appropriate to the business and conduct a programme of surveillance monitoring• Developing compliance policies and procedures to Read more […]
Senior Asset Management Compliance Manager/Head of Compliance recruitment
Responsibilities:Implementation of policies in relation to compliance to the business and functional groups Provide compliance advisory for the region and work with management to devise compliance programsHold and run compliance related presentations and training sessions Work with APAC region on compliance/legal related issuesAnti-money Laundering (AML) reviews and advisoryWork with regulatory boards and provide regulatory reportingMonitoring and compliance disclosureRequirements:Degree holder with 8 years compliance experience, preferably in financial institutions, or asset management firmsHong Read more […]
Head of Compliance recruitment
If you have the following skills and experience then this may be a great opportunity for you to join a reputable brand in financial services:Minimum 10 years of experience in legal / compliance / control functions in financial services industry or regulatory body, at least 3 years as a department head or deputy head position.Hands-on experience in handling the general compliance. Strong knowledge of banking operations, products and services and well versed with the SFC/HKMA regulations.Solid experience in banking products and well versed with the SFC/HKMA regulations Strong leadership and people Read more […]
Head of Compliance recruitment
Key Responsibilities:Serve as the focal point for compliance activities of the firm Provide reports on the status of all compliance issues to managementInvestment restrictions monitoring dailyReport on breach status regarding restrictions or investment policy mattersConduct internal monitoring and auditing, respond promptly to detected offenses, developing corrective actions and reporting findingsAd Hoc legal or compliance projects Requirements:University graduate, degree holder in Legal / Finance or related disciplinesMinimum 5 years relevant working experience in the Compliance fieldHigh integrityGood Read more […]
Head of Compliance recruitment
Compliance Manager London £62,000+ Pro-Finance is currently recruiting for a Compliance Manager to work for a Private Retail bank in London. This is a unique opportunity to work for a well-established name, giving you the platform to head and manage the whole compliance division. Key Responsibilities: You will be handling the money laundering be the office handling the controlled function Responsible for preparing FSA thematic review in December 2010 surrounding PEP relationships, correspondent banking and wire transfers Undertake day to day responsibility for on-boarding KYC, reporting to SOCA, Read more […]
Head of Compliance recruitment
My Client is one of the most successful Hedge Funds in Asia, with offices across the region and also in the US. There is currently an opportunity to join the firm as the Chief Compliance officer, based in Singapore and covering all of the Funds offices. Duties will include:*Developing and implementing a company wide compliance plan*Daily interaction with the business and senior management advising on all business activity and new product development*In charge of Monitoring/Surveillance and Anti-Money Laundering for the firm*Key Regulatory Liaising*Managing and growing the Compliance departmentYou Read more […]
Head of Compliance recruitment
An exciting senior opportunity has become available for an individual with excellent compliance and regulatory knowledge, who has the ability to oversee a Group Compliance function for a leading outsourcer.You will have oversight and responsibility for:* Regulatory advice on FSA’s COBS; mainly covering product disclosure internally and with clients.* Actively liaising with clients, the FSA and internally to ensure regulatory activity is being carried out correctly and in line with FSA standard.*Carrying out desk based monitoring reviews.* Fulfil Deputy MLRO responsibilities.* Provide a central Read more […]
Head of Compliance recruitment
We are a well established Wealth Advisory Firm in Asia Pacific. We are now seeking an experienced Compliance Head to join a team that will offer you challenges and opportunities to meet your career aspirations.Reporting to CEO, you will be responsible for the compliance function of the organisation. Job responsibilities:• Provide compliance advice with regard to the applicable rules and regulations of private wealth management from a Singapore perspective, or as it impacts the Singapore business.• Develop and implement a compliance monitoring program in accordance with the regulator’s Read more […]
VP/Head of Compliance recruitment
Responsibilities:Reporting to the CEO of Asia, some of your responsibilities include:Advise business units on compliance matters, specific to areas of expertiseReview and approve materials to ensure they comply with rules and regulationDevelop and implement procedures to monitor business activities, as well as internal policiesEnsure AML/KYC processes and systems are in place and comply with local regulationsWork with SFC and HKMA on corporate and individual licensing, CPT mattersHold and run compliance related presentations and training sessionsParticipate in ad-hoc compliance projectsRequirements:Law Read more […]
Head of Compliance recruitment
Purpose of Role: The Head of Compliance oversees the Firm’s Hong Kong and Australia Compliance departments, functioning as an objective body that reviews and evaluates compliance issues/concerns within the organization. The position ensures that management and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company’s Standards of Conduct. Principal Duties Responsibilities: • Develops and maintains policies and procedures for the general operation Read more […]